Kuali Financial System

Routing and Approvals

Introduction

Approvals in the Kuali Financial System (KFS) are accomplished through electronic routing of the documents created in the system. KFS users access and approve documents through their Action List.

When a document Initiator clicks Submit on a document, routing is begun; the system records this as an "approval" by the initiator. Click on the links above to learn more about routing in KFS.

Routing Flow

After a document initiator clicks the Submit button, the following routing steps may take place. Note that not all levels of routing indicated below will occur on every document.

Routing Step Type Description Document to Set-Up Routing
1 Fiscal Officer (Account Manager) This level of routing approval is standard for most documents in KFS (see this list for exceptions). All accounts require a fiscal officer to be assigned. An account delegate can approve on behalf of the fiscal officer at this level. Account or Account Global for Fiscal Officer

Account Delegate for Account Delegate

2 Organization Review Optional routing, established by the department; it can be to an individual (not recommended) or a group (recommended). This type of routing can be based on the chart and organization of the account, the document type, or the dollar amount. This routing can be set up to require an approval, FYI, or acknowledgement. Some documents do not allow organization review. NOTE: If a KFS user is set up as a fiscal officer/delegate on an account AND as part of an organization review (either as an individual or part of a group), their approval at the fiscal officer/delegate level will automatically satisfy the organization review routing. Organization Review
3 Special Conditions This routing approval exists on some documents, based on the document type, object level, etc.; this routing is maintained by central business units (e.g., Accounting). Maintained centrally, no user-access documents
4 Account Supervisor (Account Reviewer) Optional routing maintained by departments; it is for information only, not for approval, and occurs once all approvals are complete. Account or Account Global

In addition to the routing levels described above, Ad Hoc routing can be added at any point in the routing process, and can be initiated by any user in the routing chain. Note that a document cannot be ad hoc routed to someone who has already approved it. Ad hoc routing is activated by selecting the Ad Hoc Recipients tab on any document and entering the user ID of the KFS user/Group ID you wish to ad hoc route the document to.

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Three Levels of Notification

In KFS, there are three levels of notification that you will see when accessing your Action List.

These notifications can also be used for ad hoc routing or Organization Review:

Request Option When To Use
Approve You are asking the individual to verify that the transaction is acceptable. Approved financial documents continue routing to additional approvers, or if fully approved, are included in the next update to the General Ledger.
FYI You want the individual to see that a document has been created, but do not necessarily need them to open it up and review it. In KFS, a user can clear documents sent FYI without viewing them.
Acknowledge You want the individual to view and acknowledge a transaction, without the need for giving formal approval. The individual will be required to open the document from their Action List to clear it out. This type of action request is generated to prior approvers and the initiator when a document is disapproved.

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Reading a Route Log

Every KFS document has a route log towards the bottom of the document that identifies each of the users to whom the document has or will route to. Clicking on the Show button in the Route Log section will open up the route log. A sample route log is below

route-log

  • Actions Taken section identifies the user(s) who have already taken action on the document. In this example, James Hewlett saved and then completed the document on 3/5/14.
  • Pending Action Requests section identifies the user(s) who now need to take action on the document; it is currently in their Action List. In this example, the document is currently in Tracy Hunter's Action List awaiting her approval.
  • Future Action Request section identifies the user(s) for whom the document will route AFTER the user(s) in the Pending Action Requests section approve the document. In this example, the document will route to the ACCTAPPRL workgroup AFTER Tracy Hunter approves the document.table

To view who is in the ACCTAPPRL workgroup, click on the ACCTAPPRL link, and the group information will appear. Any user in that group will then be able to approve that document.

group-log

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Routing Statuses

Routing statuses are identified by the status names below:

Status What It Means
Canceled The document is denoted as void and should be disregarded. This status is applied to a document when an initiator creates a document and cancels it before submitting it for approval.
Disapproved The document has been disapproved by an approver.
Enroute The document has pending approval requests.
Exception The document has been routed to an exception queue because workflow has encountered an error when trying to process its routing.
Final The document has been routed and has no pending approval or acknowledgement requests. Documents in Final status are considered approved in that documents in this status affect the General Ledger or update Chart of Accounts values.
Initialized The document has been created but has not yet been saved or submitted.
Processed The document has no pending approval requests but still has one or more pending acknowledgement requests. Processed documents are considered approved, so they impact the General Ledger or update Chart of Accounts values.
Recalled The document has been recalled by the initiator and canceled.
Saved The document has been started but not completed or routed yet. The save action allows the initiator of a document to save his or her work and close the document. The document may be retrieved from the initiator's action list for completion and routing at a later time.

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Ad Hoc Routing

To ad hoc route a document, select the Ad Hoc Recipients tab and enter the user ID of the individual or the name of the group to which you would like the document to route.

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Fiscal Officers/Delegates Initiating Documents

 In general, it is a best practice for fiscal officers to NOT initiate financial transactions, however, if they do, KFS will require that the delegate assigned to the account approve it.  Learn more on the Separation of Duties page.

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Documents Without Automatic Fiscal Officer/Account Delegate Routing

Most documents in the KFS employ fiscal officer routing (require fiscal officer approval), but some documents do not. In some cases, the documents do not contain an accounting line and thus are not associated with a specific fiscal officer. In other cases, there isn't a policy that requires the approval of the fiscal officer/delegate.

The following documents do not employ fiscal officer/delegate routing:

  • Chart of Accounts:
    • Organization
    • Project
    • Sub Object
    • Account Delegate Model
    • Group
    • KFS User
    • Organization Review

    If you want a fiscal officer/other KFS user to approve the above document types, you can set set up an Organization Review for these documents or ad hoc route them for approval.

  • Financial Transactions:
    • Advance Deposit*
    • Cash Receipt*

*It is not possible to set up an Organization Review for these document types.

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Documents That Do Not Allow Organization Review

Although the majority of Kuali documents do allow organization review, there are several types that do not:

  • Financial Transactions:
    • Advance Deposit
    • Cash Receipt
    • Journal Voucher
    • Service Billing

If you set up an Organization Review for all documents (Document Type KFS), the above documents will not be included.

  • Assign secondary delegates by specific Document Type so that they would receive only the documents they were unlikely to initiate/approve for other accounts.
  • Review ledgers during the month.
    • The fiscal officer can be assigned as a ledger reviewer and can annotate in the GL Review System the validity of transactions approved by their delegates. The ledger review can occur anytime during the month starting the day after the transaction was approved. The fiscal officer, as a reviewer, can open the general ledger (FIS DS 2) with “Enable Annotations” checked and perform the ledger review for those transactions.

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Recall Functionality

After Financial Transaction documents (Budget Adjustment, Distribution of Income and Expense, General Error Correction, Internal Billing, Pre-Encumbrance) have been submitted, a Recall button is available at the bottom of the document which allows the initiator to recall the document and either make changes to the document or to cancel it.

NOTES:

  • The Recall functionality is ONLY available on the documents cited above.
  • The Recall functionality can ONLY be used BEFORE the Fiscal Officer has taken action (approved, disapproved) on the document. Once the Fiscal Officer has taken action, the initiator will receive a system error message when clicking on the Recall button.
  • When the Recall button is clicked, the document initiator is presented with two options, and a field for the initiator to identify the reason why the document is being recalled:
    • Recall To Action List: This returns the document to the initiator's Action List in a Saved status. The initiator can then either edit the document and re-submit it, or they can click the Cancel button to cancel the document (not have it go back into routing).
    • Recall And Cancel: This button is designed to cancel the document, but it often causes the document to get "stuck" in a Recalled status and in some cases does not allow another transaction to take place against the same attribute. At this time, we do NOT recommend selecting this option. If you need to cancel the document, click on the Recall To Action List button, and then click on the Cancel button at the bottom of the document. This will ensure the document then has the correct status of Canceled.

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